1              What documents/records are needed to understand this program

In order to understand our program you should also access and be aware of the following documents:

·         G-00: Welcome Pack

·         MSP-00: Introduction to our management systems

·         MSP-01: Nomenclature and definitions

·         MSP-24: Appeals

·         AS4708: The Australian Forestry Standard (available from Standards Australia)

·         AS4707: Chain of custody for certified wood and forest products

·         AFS Ltd specific rules for use of the relevant mark(s)

Program summary card
Issue	Program rules/comments
Standard	AS4707: Chain of custody for certified wood and forest products
Any other relevant document	NA
Target audience	Companies involved in harvesting, transportation, primary and secondary processing, manufacturing, re-manufacturing, distribution and sales of wood or forest products
Global-Mark output document	Certificate of Approval, confirming that the organisation complies with the CoC requirements, and any supplementary documentation required under the CoC system
Other Global-Mark output document	Nil
Certificate validity period	3 years
Certification mark that can be used by the client	AFS and PEFC™ logos, after application to Australian Forestry Standard Limited
Can this make be used on product?	Yes
Periodicity of post certification reviews	12 monthly
Periodicity of re-certification review	3 years
Steps to and post certification
Application	ü
Document review	ü
Pre-certification review	Optional
Certification review	ü
Product technical file review	ü
Follow-up review	ü
Post certification review	ü
Re-certification review	ü

2              Certification process

This program involves:

- Client makes formal application by completing the client agreement form.

- Global-Mark will complete a document review of the company management system (policy and procedures addressing AS4707) and will report using a document review report.

- At the Client request Global-Mark may (this is optional) perform a Pre-Certification review to ensure that the system is in place and is likely to pass the Certification Review  A pre-certification review checklist is then issue to the Client.  This activity is usually completed at the Client’s office.

- At the Client request Global-Mark will then complete the on site certification review: this includes an audit of your operations, visit of sites, interview with staff, review of records, witnessing of activities.  A review report will be issued, with review findings and a recommendation for or against certification will be made.

- Subject to the above review, Global-Mark will issue a certificate of approval.

3              Scheme Description

The objective of Program is to provide any organisation in the wood or forest products supply chain with a transparent set of requirements to implement and demonstrate compliance with system for the tracking of wood or forest products: the origin of which must be from sustainable managed forests (from certified forests to end consumer via the supply chain including ownership, distribution, processing, transportation, manufacturing).

CoC Certification Program is an inventory control system that provides traceability and assurances on the origin of wood.

4              Specific program definitions

The following definitions are extracts of the JASANZ procedure or support documents.  These definitions apply to our certification program:

AFS: The Australian Forestry Standard AS 4708.

Certification chain: The organisations involved in each link of the wood and forest product supply chain from defined forest area to the final product and end consumer including ownership, handling, transport or manufacturing.

Chain of custody (CoC): The process of tracking wood and forest products originating in certified forests through all phases of ownership, transportation, and manufacturing from the defined forest area to the final product and delivery to the end consumer.

CoC Mark: a document, tag, label, stamp or other marking that indicates that a batch of wood or forest products originates from a certified forest. Where practicable, the CoC mark is applied or affixed to the products.

Continual improvement: Process of enhancing and refining a management system to achieve improvements in overall performance in line with the organisation’s management policy through monitoring, evaluation and review.

Defined forest area: (DFA): An area of forest including land and water within Australia to which the requirements of the AFS are applied, and over which the forest manager can demonstrate management control that allows them to affect achievement of the requirements of the AFS.

Recognised systems of sustainable forest management: A system or scheme for sustainable forest management certification recognised as substantively equivalent to the AFS.

Link:

One or several stages in the manufacturing process from wood or forest product to final product and may include, but not limited to:

• the defined forest area;
• modes of transportation;
• primary and/or secondary processing facilities;
• manufacturing and re-manufacturing facilities;
• wholesale or retail yards, stores or other facilities; and
• any other intermediate point at which product is stored,
• processed, separated, packaged, or handled.

Note: The input and output stages in the wood or forest product flow define the link in the CoC system.

Minor nonconformance: (detected during an audit).  Where there is a breach of the CoC requirements, and that breach is likely to have a minor impact on the function and intent of the CoC system.  The organisation must take timely corrective action to correct all nonconformities.

Major nonconformance: (detected during an audit) Where a significant element of the CoC system is not functional, or where data has been falsified, or there is ongoing resistance to correcting minor non-conformances.  The organisation must take timely corrective action to correct all nonconformities.

Misuse: Use of CoC documentation, logos, or labels, or inventory control processes to effect outcomes that are adverse, misleading or otherwise deleterious to the implementation of this Standard.

Observation (detected during an audit): Where there is opportunity to improve current practice but there is no breach of requirements, or the breach is insignificant and likely to have no impact on the function and intent of the CoC system.

Organisation: A company, corporation, firm, enterprise, authority, institution, or part or combination thereof, whether incorporated or not, public or private, that has its own functions and administration, and that, for the purposes of this Standard, applies for qualification of its chain of custody.

Output batch: Wood or forest product output from a processing stream for which the percentage is calculated. The batch is defined by:

• The time period over which the batch is produced (or traded) up to a maximum batch period of three months;
• Content of the batch; and
• Production site at which the products covered by the batch has been produced (or traded)

(Term is applicable to the rolling average percentage system)

Ownership:  Pertains to the period that the certified wood and forest product remains the responsibility of an organisation in the certification chain.

Physical separation:  Where certified wood and forest products are received and clearly marked or otherwise identified and certified products remain identifiable throughout the certification chain.

Processes: The application of one or more links within the certification chain.

Timely: identified non-conformances must be fully addressed within 3 month of being raised.

Verify:  The process or action to prove a statement or claim.

Wood and/or forest products: Includes logs, solid wood, manufactured wood and timber products, pulp and paper products, and other forest products, whether in raw material or finished form, including composite products containing such materials.

Note: Includes the applicable categories of wood raw material.

Wood raw material:

Categories of wood raw material being:

• Category 1 which includes AFS certified wood raw material or certified wood raw material from other national certification schemes recognised as substantively equivalent to the AFCS.
• Category 2 which includes recycled wood and recycled fibres (post-consumer wood and fibres) and reclaimed pre-consumer by-products from processes in manufacture where these are not traceable to virgin wood sources through a chain of custody.
• Category 3 which includes wood raw material harvested from urban forestry and non-wood waste material (e.g. agricultural fibre and rags), starch and pigments.
• Category 4 which includes other wood raw material not specified in categories 1, 2 or 3. 

NOTE: For organisations seeking to use recycled wood raw material in mixed products, Appendix F of AS4707 can be used for the definitions of wood raw material.

5              Specific program conditions

Who can we offer services to?  To any company involved in harvesting, transportation, primary and secondary processing, manufacturing, re-manufacturing, distribution and sales of wood or forest products

Management System:

The organisation seeking certification must have in place a documented management system, and specifically have documented procedures for (in addition to the requirements of AS4707):

·         Internal audits

·         Complaints, appeals

·         Corrective and Preventive Action

Refer to ISO9001 for details on these requirements: Global-Mark does not expect the organisation to have an ISO9001 style management system in place.

CoC mark: this mark is applied or affixed to the products.  The right to use the CoC mark is issued by AFS Ltd to the certified organization.  When issued the Certified organisation has the right to apply the mark to the batch of wood and forest products under its current control.  Minimum content for the CoC mark is:

a)         AFS Ltd or related mark, as approved or licensed by AFS Ltd;

b)         registration number advised by AFS Ltd;

c)         batch number or other means of identifying the products the mark applies to;

d)         date of issue.

Optional content includes the name of the certified organization applying the mark, the marks of Trust-Mark.com and JAS-ANZ.  See also AFS Ltd or other specific rules for use of the relevant mark(s).

The use of the CoC mark is only authorised during the period of CoC certification, and must not be used should the certification be withdrawn or suspended.

AFS Ltd will develop a CoC mark proforma and guidance on its use.  Global-Mark will advise AFS each time a CoC Certificate is issued, cancelled or withdrawn.  The certified organisation has the right to produce and use the CoC marks complying with the proforma and guidance under licence from AFS Ltd: this right is granted by Global-Mark Pty Ltd.

The Certified organisation must seek and receive approval by Global-Mark for every CoC mark use and CoC claim, prior to the label or material being first printed and used.

Internal audits and management review: Global-Mark cannot grant certification until there is sufficient evidence to demonstrate that the arrangements for management review and internal audit have been implemented, are effective and are being maintained, and one complete internal audit and review program covering all processes of the CoC management system has been conducted.

Multi sited Clients: refer to our Guide Document: G-02 available on request to Global-Mark.

Examples of possible multisite organisations include:

• organisations operating with franchises;
• companies with multiple branches; or
• a group of legally independent companies.

Our role includes:

• We are responsible for verifying the whole CoC management system, and the proportion of certified wood and forest product in each link of the certification chain;
• We will validate and monitor the organization's use of CoC marks and marketing claims; and
• We may cancel the organization's right to use CoC marks or make CoC marketing claims where we has transparent and sufficient reasons to conclude that misuse has occurred  

Use of AFS Logo

The certified organisation must apply to AFS Limited to use the logo.  There may be fees associated with the use of the AFS logo, which are charged directly by and paid to AFS Limited.

Group Certifications

What is a group?

A group of legally independent companies means a network of typically small independent enterprises associated together for the purpose of obtaining and maintaining chain of custody certification for the whole group. The central office may be an appropriate trade association, or any other properly experienced legal entity that is either nominated for the purpose by a group of intending members or offers a group service managed for the purposes of and consistently with this standard. The central office can also be administered by one member of the group.

Group certification is only permitted where all of the following apply:

• the members of the group are all managers of 'small' forests (as defined in the AFS), and have previously been accepted for certification to the AFS as a group;
• the scope of certification is restricted to harvest and transport arrangements from the group forests to one or more mills;
• Global-Mark signs an agreement with a legal entity that represents all members of the group.  The entity may be one member of the group and shall provide for clear membership and commitment to comply with the CoC management system covering all the group's members; and
• policies and procedures adopted by the group are endorsed by all members and their agreement is maintained on a consent register.

Rules for group certification:

• each member in the group must go through the certification process concurrently and must operate on essentially similar documentation and procedures.  Each organization must present for initial (and subsequent) audits at the same time;
• the audit duration for each member of the group shall be in accordance with the JASANZ rules (refer to our office for details).  If the group numbers change, then the total audit duration (and hence our fees) will change accordingly;
• the legal entity referred to above must be the applicant and act as the contact point and coordinator for all communications and audit planning with the Global-Mark;
• a combined assessment report may be provided covering all organizations in the group; and
• acceptance of a group is at the discretion of the Global-Mark. 

Certification based on auditing of a sample of organizations comprising a group is only permitted where all the requirements of Global-Mark document G-02 (Multi-sited Clients) can be applied to the group.  For example, the legal entity referred to above must have the same authority and powers (e.g. to require all members to take corrective action) as the central office referred to in G-02.